4: Statement of changes in beneficial ownership of securities
Published on October 20, 2015
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 6.49 | 10/20/2015 | A | 15,000 | (4) | 10/19/2024 | Common Stock | 15,000 | $ 0 | 15,000 | D | ||||
Class A Warrant (Right to Buy) | $ 4.55 | 10/20/2015 | J | 5,383 | (1) | 10/20/2018 | Common Stock | 5,383 | (1) | 5,383 | D | ||||
Class B Warrant (Right to Buy) | $ 3.9 | 10/20/2015 | J | 5,383 | (1) | 04/20/2017 | Common Stock | 2,691.50 | (1) | 5,383 | D | ||||
Class A Warrant (Right to Buy) | $ 4.55 | 10/20/2015 | P | 16,924 | (2) | 10/20/2018 | Common Stock | 16,924 | (2) | 22,307 | D | ||||
Class B Warrant (Right to Buy) | $ 3.9 | 10/20/2015 | P | 16,924 | (2) | 04/20/2017 | Common Stock | 8,462 | (2) | 22,307 | D | ||||
Class A Warrant (Right to Buy) | $ 4.55 | 10/20/2015 | P | 13,693 | (3) | 10/20/2018 | Common Stock | 13,693 | (3) | 36,000 | D | ||||
Class B Warrant (Right to Buy) | $ 3.9 | 10/20/2015 | P | 13,693 | (3) | 04/20/2017 | Common Stock | 6,846.50 | (3) | 36,000 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Marcus Ronald 400 E. PRATT STREET, SUITE 606 BALTIMORE, MD 21202 |
Chief Medical Officer |
Signatures
/s/ Mariam E. Morris by Power of Attorney previously filed | 10/20/2015 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reported securities are included within 5,383 units issued upon the closing of the Issuer's initial public offering at the initial public offering price of $6.50 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable. |
(2) | The reported securities are included within 16,924 units purchased by the reporting person for $6.40 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable. |
(3) | The reported securities are included within 13,693 units purchased by the reporting person for $6.3943 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable |
(4) | The Stock Option vests in four equal installments on October 20, 2016, 2017, 2018 and 2019. |